DFX Intelligence
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M••••••• H••••• M••••••
As of · the IAPD feed
- At current firm
- 1 y
- In the industry
- 11 y
- Prior registered firms
- 1
- Signals
- 1
since Feb 13, 2025
As of · the IAPD feed
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Recruiter brief
facts first, then what DFX measured about them; never a statement of intent
- ••• Locked
Recruiting value
- Practice attractivenessnoneno observable scale indicator beyond registration
- Team depthnone0 of the 0 people who once moved firms with this advisor are registered here now (a team seen in registrations; web team pages are not used until they pass review).
- Entrepreneurial profilesomeDetails are shown to subscribers.
- Real estate activitynoneDetails are shown to subscribers.
- ContactabilityweakPublished: no published contact point.
Movement evidence
- Movement signalsome1 of 1 dated or circumstantial reading historically went with moving: two or more known colleagues moved in the prior 180 days. The forward-tested move model places this advisor in its Highly elevated band. Early-career bands mostly reflect trainee churn.
- Recent change activitynoneDetails are shown to subscribers.
- Independence preparationnoneNo concrete evidence of preparation for independence.
- Historical mobilitynone1 prior firm, median stay 1.1 years.
Dated changes and circumstances, and what they have meant historically
- move indicatorTwo or more known colleagues moved in the prior 180 daysAt broker-dealer affiliated firms, 6.9% with this moved within a year, against 5.5% without it (1.26x, 2023 to 2025 cohorts).
Career
- 2.8 years in the industry
- 1.6 years at the current firm
- 1 prior registered firm; median stay 1.1 years
Source: the per-person IAPD record (broker and adviser registrations)
Licensing and credentials
- Registered in 8 states (firm median 1)
- Exams: SIE, Series 66, Series 7TO
- Registered as a broker as well as an adviser
Source: IAPD individual feed and the per-person IAPD record
Around this advisor
- 5 of about 35 in the office left in the last 180 days
- 7 known colleagues changed firms in the last year
Regulatory record
Shown to subscribers, with the official record linked.
Outside business and networkWhat is shown hereEvery item is the advisor’s own outside-business disclosure on Form U4, read from the IAPD feed, so the link between the advisor and the company is theirs, not DFX’s guess. Each company is then looked up in public records (state registries, SEC Form D, the IRS exempt-organisation file, SBA loans, Form ADV, assessor rolls), and every fact on its page names its record. Personal items (a trusteeship for a relative, a home, a side job) and every address are left out. People connected through these companies are observed business connections, never assumed clients.
what the advisor disclosed on Form U4, and what the public record says each company is
Observed business footprint
- 2 disclosed outside organisations
- Owner, founder or manager of 1
Why it may matter
- someEntrepreneurial activityOwns, founded or manages 1 business entity outside the advisory practice (self-disclosed on Form U4).
- someExternal business breadthOutside business spans 1 category: hospitality.
- M••••••••• C•••••••Restaurant and hospitalityOwner · since 2024-12-10
C••••••• (the advisor's own disclosure)
Owns or founded a hospitality business outside the advisory practice.
self-disclosed on Form U4 - R••••••••• C••••••••• I••Practice brandRole not stated · since 2023-01-15
Business entity for tax/investment purposes only (the advisor's own disclosure)
The advisor's own practice brand, not a separate business.
self-disclosed on Form U4
Registration history
IAPD current and previous registrations
- L•• E••••••••• L•• BD affiliated currentsince Feb 13, 2025 · San Diego, Ca
- E••••• J•••• national BDDec 18, 2023 to Dec 10, 2024 · Escondidio, Ca
Moves
a registration end followed by a registration begin elsewhere
- E••••• J•••• to L•• E••••••••• L••left Dec 10, 2024, registered Feb 13, 2025 (65 days) · Affiliated broker-dealer or bank to a newly registered adviser
Signals
- ••• LockedDec 10, 2024 · Advisor changed firm · fact
Transition signalsWhat these will draw onThe observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves.Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
No combined mobility score is published yet. The signals above are on record, each with its own history and base rate.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, the raw outside business text and any address in it, personal outside activities, branch street addressoutside businesses appear above as structured facts, reviewed, with a short quote